NUVEEN PFD & INCM SECURTIES shareholder history

Current and past NUVEEN PFD & INCM SECURTIES shareholders
Period Weighting Quarter
CompanyLongestShortestMin.Avg.Max.FirstLatest↓ Count
LPL Financial LLC 42420.00%0.03%0.11%Q2 2013Q3 202342
US BANCORP \DE\ 42420.00%0.00%0.00%Q2 2013Q3 202342
GUGGENHEIM CAPITAL LLC 42420.00%0.00%0.02%Q2 2013Q3 202342
WELLS FARGO & COMPANY/MN 42420.00%0.00%0.01%Q2 2013Q3 202342
MORGAN STANLEY 42420.00%0.01%0.01%Q2 2013Q3 202342
Invesco Ltd. 42420.00%0.01%0.01%Q2 2013Q3 202342
ROYAL BANK OF CANADA 42420.00%0.00%0.00%Q2 2013Q3 202342
CENTRAL TRUST Co 42420.01%0.11%0.34%Q2 2013Q3 202342
BANK OF AMERICA CORP /DE/ 42420.00%0.00%0.00%Q2 2013Q3 202342
GREATMARK INVESTMENT PARTNERS, INC. 42420.60%1.05%1.38%Q2 2013Q3 202342
PNC FINANCIAL SERVICES GROUP, INC. 42420.00%0.00%0.00%Q2 2013Q3 202342
DUNCKER STREETT & CO INC 42420.01%0.04%0.09%Q2 2013Q3 202342
RAYMOND JAMES & ASSOCIATES 3380.00%0.01%0.03%Q2 2013Q3 202341
Creative Planning 3740.00%0.00%0.00%Q2 2013Q3 202341
FIRST TRUST ADVISORS LP 30110.00%0.00%0.00%Q2 2013Q3 202341
FIFTH THIRD BANCORP 24170.00%0.00%0.00%Q2 2013Q3 202341
Bartlett & Co. LLC 2670.00%0.00%0.00%Q2 2013Q3 202340
Cambridge Investment Research Advisors, Inc. 3820.01%0.03%0.09%Q2 2013Q3 202340
HOLLENCREST CAPITAL MANAGEMENT 40400.01%0.02%0.02%Q4 2013Q3 202340
Capital Investment Advisors, LLC 3810.00%0.09%0.22%Q4 2013Q3 202339
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2810.00%0.00%0.01%Q2 2013Q3 202338
STEEL GROVE CAPITAL ADVISORS, LLC 3020.01%0.05%0.12%Q2 2013Q3 202338
Cetera Advisor Networks LLC 2270.01%0.03%0.08%Q4 2013Q3 202338
FIRST FOUNDATION ADVISORS 38380.00%0.06%0.25%Q2 2013Q3 202238
SIT INVESTMENT ASSOCIATES INC 1520.00%0.35%1.27%Q2 2013Q3 202337
UBS Group AG 36360.01%0.01%0.02%Q4 2014Q3 202336
WEDBUSH SECURITIES INC 3510.02%0.11%0.22%Q3 2013Q3 202336
Janney Montgomery Scott LLC 2970.00%0.00%0.01%Q1 2014Q3 202336
Raymond James Financial Services Advisors, Inc. 3410.01%0.02%0.04%Q2 2013Q3 202335
SEGALL BRYANT & HAMILL, LLC 35350.00%0.00%0.01%Q1 2013Q3 202135
SHUFRO ROSE & CO LLC 3110.01%0.02%0.03%Q3 2012Q3 202334
CITIGROUP INC 34340.00%0.00%0.00%Q2 2013Q3 202134
UNITED CAPITAL FINANCIAL ADVISORS, LLC 33330.00%0.01%0.03%Q3 2014Q3 202233
Focused Wealth Management, Inc 33330.00%0.00%0.00%Q2 2014Q2 202233
RAYMOND JAMES TRUST N.A. 20130.00%0.01%0.01%Q4 2014Q3 202333
BANK OF MONTREAL /CAN/ 2410.00%0.00%0.00%Q2 2013Q2 202333
Advisory Services Network, LLC 2740.00%0.02%0.09%Q4 2015Q3 202331
Private Advisor Group, LLC 31310.00%0.01%0.03%Q1 2016Q3 202331
Anchor Investment Management, LLC 31310.01%0.05%0.10%Q1 2016Q3 202331
Geneos Wealth Management Inc. 31310.05%0.15%0.28%Q1 2016Q3 202331
STIFEL FINANCIAL CORP 31310.00%0.00%0.00%Q1 2016Q3 202331
HUNTINGTON NATIONAL BANK 1110.00%0.00%0.00%Q1 2009Q3 202330
CITY HOLDING CO 30300.00%0.01%0.02%Q2 2016Q3 202330
WealthTrust Axiom LLC 30300.05%0.06%0.08%Q2 2016Q3 202330
CLIFFORD SWAN INVESTMENT COUNSEL LLC 30300.01%0.01%0.01%Q2 2016Q3 202330
DAVENPORT & Co LLC 30300.00%0.00%0.01%Q2 2016Q3 202330
First Allied Advisory Services, Inc. 30300.01%0.04%0.10%Q2 2013Q3 202030
Edmonds Duncan Registered Investment Advisors, LLC 30300.02%0.04%0.06%Q2 2016Q3 202330
United Asset Strategies, Inc. 1430.02%0.21%0.58%Q2 2013Q1 202130
Mariner, LLC 2360.00%0.02%0.11%Q2 2013Q3 202329
Lido Advisors, LLC 2720.00%0.04%0.18%Q1 2016Q2 202329
HighTower Advisors, LLC 2720.00%0.00%0.00%Q2 2016Q3 202329
Stratos Wealth Partners, LTD. 29290.01%0.07%0.12%Q3 2016Q3 202329
OPPENHEIMER & CO INC 2450.00%0.00%0.01%Q2 2016Q3 202329
AMERIPRISE FINANCIAL INC 2720.00%0.00%0.02%Q2 2013Q3 202329
Sigma Planning Corp 2810.01%0.05%0.10%Q4 2014Q2 202229
Farmers & Merchants Trust Co of Chambersburg PA 28280.00%0.02%0.06%Q4 2016Q3 202328
SIGNET FINANCIAL MANAGEMENT, LLC 2710.01%0.06%0.12%Q4 2014Q4 202128
FLAGSHIP HARBOR ADVISORS, LLC 28280.01%0.15%0.62%Q4 2016Q3 202328
TRUIST FINANCIAL CORP 28280.00%0.00%0.01%Q4 2016Q3 202328
NEXT Financial Group, Inc 14140.00%0.03%0.06%Q2 2014Q4 202128
Patriot Financial Group Insurance Agency, LLC 28280.05%0.27%0.67%Q4 2016Q3 202328
DEUTSCHE BANK AG\ 28280.00%0.00%0.00%Q3 2013Q2 202028
CWM, LLC 1810.00%0.00%0.00%Q4 2013Q3 202327
BURNEY CO/ 2430.02%0.08%0.15%Q4 2014Q3 202327
SMITH SHELLNUT WILSON LLC /ADV 2160.04%0.08%0.12%Q4 2016Q3 202327
Sheaff Brock Investment Advisors, LLC 17100.01%0.02%0.06%Q4 2015Q1 202327
Steward Partners Investment Advisory, LLC 1980.00%0.01%0.02%Q4 2016Q3 202327
LADENBURG THALMANN FINANCIAL SERVICES INC. 27270.01%0.02%0.04%Q2 2013Q4 201927
Prospera Financial Services Inc 1710.00%0.11%0.36%Q3 2015Q3 202327
Snowden Capital Advisors LLC 1080.00%0.02%0.04%Q4 2016Q3 202326
PARAMETRIC PORTFOLIO ASSOCIATES LLC 1210.00%0.01%0.04%Q2 2013Q1 202226
Shaker Financial Services, LLC 1810.08%0.56%1.28%Q2 2013Q3 202326
Parallel Advisors, LLC 1970.00%0.00%0.01%Q4 2016Q3 202326
Gradient Investments LLC 2150.00%0.00%0.00%Q2 2016Q4 202226
BARCLAYS PLC 1810.00%0.00%0.00%Q3 2013Q3 202024
COMMONWEALTH EQUITY SERVICES, LLC 24240.02%0.04%0.05%Q4 2017Q3 202324
ENVESTNET ASSET MANAGEMENT INC 1010.00%0.00%0.01%Q2 2013Q3 202324
Carroll Financial Associates, Inc. 23230.00%0.00%0.01%Q2 2016Q4 202123
WHITTIER TRUST CO OF NEVADA INC 23230.00%0.00%0.02%Q1 2018Q3 202323
OneDigital Investment Advisors LLC 1850.00%0.01%0.01%Q2 2017Q3 202323
THRIVENT FINANCIAL FOR LUTHERANS 820.00%0.00%0.02%Q2 2014Q3 202323
Cetera Advisors LLC 1440.00%0.01%0.02%Q1 2014Q2 202223
B. Riley Wealth Advisors, Inc. 2110.00%0.01%0.03%Q4 2016Q3 202323
Wealthcare Advisory Partners LLC 12100.00%0.03%0.07%Q4 2017Q3 202322
Financial Advocates Investment Management 2020.01%0.02%0.02%Q1 2018Q3 202322
Bank of New York Mellon Corp 1510.00%0.00%0.00%Q3 2013Q2 202122
Baird Financial Group, Inc. 1510.00%0.00%0.00%Q2 2016Q3 202322
Coastline Trust Co 22220.01%0.01%0.02%Q2 2018Q3 202322
Azimuth Capital Management LLC 22220.03%0.05%0.06%Q2 2013Q3 201822
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 22220.00%0.00%0.00%Q1 2014Q2 201922
Winslow, Evans & Crocker, Inc. 21210.00%0.01%0.11%Q4 2015Q4 202021
CONCOURSE FINANCIAL GROUP SECURITIES, INC. 21210.00%0.01%0.04%Q3 2018Q3 202321
MML INVESTORS SERVICES, LLC 1310.00%0.01%0.03%Q1 2017Q3 202321
WHITTIER TRUST CO 21210.01%0.01%0.02%Q3 2018Q3 202321
NORTHERN TRUST CORP 2010.00%0.00%0.00%Q2 2013Q4 202221
Hudock, Inc. 20200.01%0.01%0.02%Q2 2013Q1 201820
M&T BANK CORP 1820.00%0.00%0.00%Q2 2013Q2 201820
AE Wealth Management LLC 1820.00%0.01%0.04%Q4 2017Q3 202320
Kovack Advisors, Inc. 1730.02%0.87%1.66%Q2 2016Q3 202320
Horizon Kinetics 1190.00%0.01%0.04%Q2 2013Q4 201820
Chicago Partners Investment Group LLC 1640.01%0.02%0.04%Q1 2017Q3 202320
American Portfolios Advisors 20200.02%0.03%0.06%Q4 2017Q3 202220
Ausdal Financial Partners, Inc. 1280.01%0.05%0.08%Q4 2015Q3 202220
Bruderman Asset Management, LLC 20200.16%0.21%0.26%Q1 2015Q4 201920
MANUFACTURERS LIFE INSURANCE COMPANY, THE 19190.00%0.00%0.00%Q4 2013Q2 201819
HORIZON KINETICS ASSET MANAGEMENT LLC 19190.00%0.01%0.02%Q1 2019Q3 202319
TSFG, LLC 19190.04%0.10%0.18%Q1 2019Q3 202319
Sage Capital Advisors,llc 19190.11%0.14%0.17%Q1 2019Q3 202319
Good Life Advisors, LLC 1630.01%0.03%0.06%Q4 2018Q3 202319
CAPTRUST FINANCIAL ADVISORS 1220.00%0.02%0.04%Q2 2013Q3 202319
Shulman DeMeo Asset Management LLC 1180.18%0.32%0.58%Q4 2018Q3 202319
Westbourne Investment Advisors, Inc. 1180.18%0.22%0.24%Q2 2015Q1 202019
MERCER GLOBAL ADVISORS INC /ADV 19190.00%0.00%0.01%Q1 2019Q3 202319
REILLY FINANCIAL ADVISORS, LLC 19190.00%0.00%0.01%Q2 2015Q4 201919
IBEX WEALTH ADVISORS 1710.01%0.08%0.16%Q4 2016Q4 202219
IFP Advisors, Inc 1440.00%0.02%0.06%Q4 2015Q4 202218
Holloway Wealth Management, LLC 18180.03%0.05%0.10%Q4 2016Q1 202118
Asset Planning Services, Ltd. 18180.02%0.05%0.07%Q2 2015Q3 201918
FIRST MANHATTAN CO. LLC. 18180.00%0.00%0.00%Q2 2013Q3 201718
NATIONAL PLANNING CORP 18180.04%0.06%0.13%Q2 2013Q3 201718
DOLIVER ADVISORS, LP 610.06%0.40%0.87%Q2 2013Q3 202218
Jupiter Wealth Management LLC 18180.21%0.91%1.45%Q1 2019Q2 202318
RFG Advisory, LLC 18180.00%0.02%0.04%Q1 2019Q2 202318
Commonwealth Equity Services, Inc 18180.01%0.02%0.05%Q2 2013Q3 201718
FMR LLC 810.00%0.00%0.00%Q3 2018Q3 202318
INVESTMENT CENTERS OF AMERICA INC 18180.04%0.22%0.38%Q2 2013Q3 201718
AdvisorNet Financial, Inc 18180.00%0.00%0.01%Q2 2019Q3 202318
BESSEMER GROUP INC 1010.00%0.03%0.07%Q2 2016Q3 202317
Westwind Capital 17170.00%0.01%0.02%Q4 2017Q4 202117
Rockefeller Capital Management L.P. 17170.00%0.01%0.02%Q3 2019Q3 202317
ClearBridge Investments 17170.00%0.00%0.00%Q2 2016Q2 202017
NewEdge Advisors, LLC 1160.00%0.01%0.01%Q3 2018Q3 202317
First City Capital Management, Inc. 910.04%0.07%0.09%Q2 2013Q3 202017
AVANTAX ADVISORY SERVICES, INC. 17170.00%0.01%0.03%Q3 2019Q3 202317
Financial Architects, Inc 17170.00%0.00%0.00%Q2 2016Q2 202017
LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 810.01%0.14%0.31%Q4 2013Q3 202317
Penserra Capital Management LLC 970.00%0.11%0.25%Q4 2015Q3 202316
SECURITY NATIONAL TRUST CO 16160.00%0.00%0.01%Q3 2016Q2 202016
Tower Research Capital LLC (TRC) 410.00%0.00%0.01%Q2 2013Q3 202316
SIGNATUREFD, LLC 1110.00%0.01%0.01%Q2 2013Q1 202316
Stonebridge Capital Advisors LLC 1150.00%0.00%0.00%Q2 2019Q3 202316
B. Riley Wealth Management, Inc. 1010.00%0.12%0.28%Q2 2014Q2 202216
S.A. Mason LLC 16160.00%0.00%0.01%Q4 2019Q3 202316
COMMERCE BANK 1420.00%0.00%0.00%Q1 2013Q1 202216
9258 Wealth Management, LLC 16160.02%0.04%0.08%Q4 2018Q3 202216
Truvestments Capital LLC 810.00%0.02%0.07%Q3 2018Q1 202316
OPTIMUM INVESTMENT ADVISORS 16160.01%0.01%0.02%Q1 2018Q4 202116
COHEN & STEERS, INC. 15150.01%0.01%0.02%Q1 2020Q3 202315
WOLVERINE ASSET MANAGEMENT LLC 410.00%0.01%0.03%Q2 2013Q3 202315
Bramshill Investments, LLC 15150.01%1.68%3.20%Q1 2020Q3 202315
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 15150.01%0.03%0.04%Q1 2020Q3 202315
MSI Financial Services Inc 15150.02%0.03%0.05%Q2 2013Q4 201615
Advisor Group, Inc. 15150.01%0.02%0.02%Q2 2016Q4 201915
WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC 1230.05%0.11%0.16%Q4 2019Q3 202315
Family Management Corp 15150.03%0.25%0.46%Q1 2020Q3 202315
JANE STREET GROUP, LLC 410.00%0.00%0.00%Q4 2016Q3 202315
FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX 15150.43%0.48%0.59%Q2 2016Q4 201915
Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors 710.02%0.09%0.20%Q2 2018Q4 202215
OSAIC HOLDINGS, INC. 15150.01%0.01%0.01%Q1 2020Q3 202315
CREDIT SUISSE AG/ 1210.00%0.00%0.00%Q1 2013Q4 201815
GILL CAPITAL PARTNERS, LLC 1310.05%0.09%0.16%Q4 2018Q3 202315
D.A. DAVIDSON & CO. 1110.00%0.00%0.00%Q2 2013Q2 201715
Moors & Cabot, Inc. 15150.12%0.17%0.32%Q1 2020Q3 202315
FNY Investment Advisers, LLC 420.00%0.04%0.09%Q2 2018Q3 202315
SeaCrest Wealth Management, LLC 1310.00%0.03%0.06%Q4 2017Q2 202214
Penbrook Management LLC 770.08%0.13%0.16%Q1 2015Q3 202314
PACIFIC SUN FINANCIAL CORP 610.04%0.08%0.16%Q1 2018Q2 202314
Avior Wealth Management, LLC 14140.00%0.01%0.01%Q4 2019Q1 202314
Ahrens Investment Partners LLC 920.03%0.29%1.08%Q1 2019Q1 202314
VISTA INVESTMENT MANAGEMENT 14140.17%0.27%0.38%Q4 2018Q1 202214
MILLENNIUM MANAGEMENT LLC 810.00%0.00%0.00%Q4 2016Q3 202314
WESTPORT RESOURCES MANAGEMENT INC 14140.01%0.01%0.02%Q2 2013Q3 201614
Royal Fund Management, LLC 14140.00%0.01%0.02%Q4 2016Q1 202014
BB&T SECURITIES, LLC 14140.00%0.00%0.01%Q2 2016Q3 201914
Oxbow Advisors, LLC 770.19%0.47%1.58%Q2 2016Q4 201914
EPG Wealth Management LLC 1040.02%0.17%0.28%Q4 2019Q2 202314
Winfield Associates, Inc. 770.01%0.03%0.07%Q2 2016Q1 202114
Connecticut Wealth Management, LLC 14140.02%0.07%0.12%Q3 2016Q4 201914
Tradewinds Capital Management, LLC 13130.00%0.00%0.01%Q3 2015Q3 201813
Kestra Advisory Services, LLC 13130.00%0.01%0.02%Q3 2020Q3 202313
DUBUQUE BANK & TRUST CO 1210.00%0.01%0.02%Q2 2015Q3 202313
RIVERNORTH CAPITAL MANAGEMENT, LLC 610.07%1.09%3.00%Q2 2013Q3 202313
Eudaimonia Partners, LLC 760.01%0.08%0.15%Q4 2019Q3 202313
Certified Advisory Corp 1110.02%0.03%0.05%Q4 2017Q1 202213
VSR Financial Services, Inc. 13130.02%0.06%0.11%Q2 2013Q2 201613
AlphaMark Advisors, LLC 13130.00%0.00%0.00%Q3 2020Q3 202313
Global Endowment Management, LP 13130.22%0.30%0.48%Q2 2013Q2 201613
Ken Stern & Associates, Inc. 13130.06%0.43%1.66%Q4 2014Q4 201713
Laurel Wealth Advisors LLC 540.00%0.00%0.00%Q3 2019Q3 202313
CHEMICAL BANK 13130.02%0.02%0.03%Q2 2016Q2 201913
Advisor OS, LLC 12120.02%0.05%0.06%Q4 2020Q3 202312
Sugarloaf Wealth Management, LLC 1020.00%0.00%0.00%Q4 2019Q1 202312
CULLEN/FROST BANKERS, INC. 12120.00%0.00%0.00%Q1 2019Q4 202112
Accel Wealth Management 12120.17%0.34%0.54%Q4 2020Q3 202312
IFC Holdings Incorporated/FL 12120.03%0.15%0.21%Q1 2015Q4 201712
Polar Asset Management Partners Inc. 12120.02%0.02%0.03%Q1 2020Q4 202212
KINGS POINT CAPITAL MANAGEMENT 12120.00%0.00%0.00%Q2 2019Q1 202212
Valley Brook Capital Group, Inc. 12120.07%0.10%0.13%Q4 2020Q3 202312
Cutter & CO Brokerage, Inc. 750.03%0.05%0.07%Q3 2013Q3 201712
SOA Wealth Advisors, LLC. 12120.01%0.02%0.03%Q4 2020Q3 202312
AMERICAN INTERNATIONAL GROUP, INC. 12120.00%0.00%0.00%Q2 2013Q1 201612
Citadel Advisors 710.00%0.00%0.00%Q4 2017Q3 202312
MID ATLANTIC FINANCIAL MANAGEMENT INC/ADV 12120.02%0.04%0.10%Q4 2018Q3 202112
PARSONS CAPITAL MANAGEMENT INC/RI 12120.01%0.02%0.03%Q4 2020Q3 202312
MCF Advisors LLC 12120.00%0.01%0.02%Q3 2015Q2 201812
Sandy Spring Bank 12120.00%0.00%0.00%Q2 2013Q1 201612
CENTAURUS FINANCIAL, INC. 910.01%0.02%0.07%Q4 2017Q1 202312
MONTAG A & ASSOCIATES INC 12120.00%0.00%0.00%Q4 2020Q3 202312
Dynamic Advisor Solutions LLC 12120.01%0.02%0.03%Q1 2018Q4 202012
Cetera Investment Advisers 12120.01%0.01%0.02%Q4 2020Q3 202312
CoreFirst Bank & Trust 12120.03%0.03%0.04%Q4 2020Q3 202312
Danda Trouve Investment Management, Inc. 12120.10%1.03%3.86%Q4 2019Q3 202212
SMITH, MOORE & CO. 11110.04%0.05%0.06%Q2 2017Q4 201911
Jefferies Group LLC 11110.00%0.01%0.01%Q1 2017Q3 201911
SignalPoint Asset Management, LLC 11110.04%0.08%0.12%Q4 2013Q2 201611
Spire Wealth Management 11110.01%0.01%0.02%Q1 2021Q3 202311
Waterfront Wealth Inc. 11110.04%0.11%0.20%Q1 2021Q3 202311
COMERICA BANK 610.00%0.00%0.00%Q2 2013Q3 202311
TRUST CO OF VERMONT 11110.00%0.00%0.00%Q2 2013Q4 201511
Castle Rock Wealth Management, LLC 1010.03%0.17%0.30%Q2 2018Q3 202211
Beacon Capital Management, Inc. 11110.00%0.01%0.02%Q1 2014Q3 201611
GOLDMAN SACHS GROUP INC 510.00%0.00%0.00%Q3 2013Q1 202011
CAHILL FINANCIAL ADVISORS INC 11110.14%0.18%0.24%Q4 2015Q2 201811
Berger Financial Group, Inc 740.02%0.04%0.06%Q4 2020Q3 202311
Mathes Company, Inc. 920.07%0.25%0.36%Q4 2020Q3 202311
Hennion & Walsh Asset Management, Inc. 11110.04%0.08%0.14%Q1 2021Q3 202311
AQR Arbitrage LLC 710.00%0.06%0.29%Q1 2015Q3 202311
Blume Capital Management, Inc. 11110.01%0.01%0.01%Q4 2013Q2 201611
LEVEL FOUR ADVISORY SERVICES, LLC 11110.01%0.01%0.01%Q1 2021Q3 202311
Penn Mutual Asset Management, LLC 11112.20%3.57%5.20%Q1 2020Q3 202211
Sowell Financial Services LLC 730.00%0.03%0.12%Q3 2019Q2 202310
Edge Wealth Management LLC 10100.01%0.06%0.11%Q3 2016Q4 201810
LexAurum Advisors, LLC 10100.05%0.09%0.13%Q2 2021Q3 202310
Pflug Koory, LLC 10100.00%0.00%0.00%Q2 2021Q3 202310
ROWLAND CARMICHAEL ADVISORS INC /ADV 10100.08%0.11%0.13%Q3 2018Q4 202010
Allworth Financial LP 610.00%0.00%0.00%Q4 2016Q3 202310
Ameritas Investment Company, LLC 910.01%0.05%0.09%Q4 2018Q3 202110
Regal Wealth Group, Inc. 10100.05%0.05%0.06%Q4 2015Q1 201810
RDA Financial Network 10100.06%0.07%0.07%Q3 2020Q4 202210
BENJAMIN F. EDWARDS & COMPANY, INC. 520.00%0.00%0.01%Q2 2017Q3 202310
Western Wealth Management, LLC 710.01%0.01%0.02%Q3 2019Q3 202310
Wealthspire Advisors, LLC 10100.00%0.01%0.04%Q4 2018Q1 202110
JPMORGAN CHASE & CO 510.00%0.00%0.00%Q4 2013Q3 202310
Sunbelt Securities, Inc. 10100.01%0.05%0.08%Q3 2019Q4 202110
HARBOUR INVESTMENTS, INC. 640.00%0.01%0.04%Q1 2021Q3 202310
1ST SOURCE BANK 430.01%0.02%0.04%Q3 2013Q4 201910
Quinn Opportunity Partners LLC 640.01%0.08%0.25%Q4 2016Q2 201910
Virtue Capital Management, LLC 990.04%0.05%0.06%Q4 2017Q4 20199
MUFG Americas Holdings Corp 630.00%0.01%0.12%Q4 2013Q3 20209
ACG Wealth 810.01%0.05%0.11%Q3 2019Q2 20229
Van Cleef Asset Management,Inc 810.02%0.02%0.03%Q2 2017Q4 20199
ROPES WEALTH ADVISORS LLC 990.02%0.02%0.02%Q4 2020Q4 20229
Merrion Investment Management Co, LLC 990.05%0.06%0.08%Q3 2021Q3 20239
SCOTIA CAPITAL INC. 990.01%0.01%0.01%Q2 2016Q2 20189
All Season Financial Advisors, Inc. 630.23%0.42%0.54%Q2 2021Q3 20239
WFG Advisors, LP 990.01%0.05%0.07%Q2 2015Q2 20179
Baystate Wealth Management LLC 330.00%0.00%0.00%Q1 2018Q3 20239
CARY STREET PARTNERS INVESTMENT ADVISORY LLC 410.00%0.07%0.26%Q4 2018Q3 20239
CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 410.01%0.31%0.63%Q4 2016Q1 20209
Capstone Financial Advisors, Inc. 630.01%0.02%0.02%Q4 2018Q1 20219
CEDAR HILL ASSOCIATES, LLC 990.01%0.02%0.03%Q2 2013Q2 20159
Joseph P. Lucia & Associates, LLC 540.01%0.01%0.02%Q2 2019Q3 20219
SEI INVESTMENTS CO 990.00%0.00%0.00%Q2 2016Q2 20189
Saba Capital Management, L.P. 410.01%0.09%0.22%Q4 2013Q3 20239
180 WEALTH ADVISORS, LLC 990.02%0.02%0.03%Q3 2021Q3 20239
RIDGECREST WEALTH PARTNERS, LLC 880.04%0.05%0.05%Q4 2021Q3 20238
Integrated Investment Consultants, LLC 710.00%0.00%0.00%Q1 2016Q1 20188
Operose Advisors LLC 880.04%0.07%0.13%Q4 2021Q3 20238
Lindbrook Capital, LLC 710.01%0.02%0.04%Q4 2018Q4 20218
SUNTRUST BANKS INC 510.00%0.00%0.00%Q2 2013Q3 20188
CONNING INC. 880.00%0.01%0.01%Q2 2013Q1 20158
CSS LLC/IL 710.01%0.01%0.01%Q4 2013Q3 20238
David J Yvars Group 880.10%0.17%0.22%Q4 2020Q3 20228
Laidlaw Wealth Management LLC 880.02%0.03%0.04%Q4 2020Q3 20228
Ranch Capital Advisors Inc. 880.03%0.04%0.05%Q4 2019Q3 20218
PRIVATE TRUST CO NA 710.01%0.03%0.04%Q1 2013Q3 20238
Arete Wealth Advisors, LLC 710.09%0.58%0.98%Q2 2016Q4 20228
MARINO, STRAM & ASSOCIATES LLC 880.14%0.20%0.32%Q4 2021Q3 20238
Krilogy Financial LLC 880.00%0.00%0.01%Q2 2016Q1 20188
Investmark Advisory Group LLC 880.17%0.21%0.29%Q4 2021Q3 20238
INTREPID FAMILY OFFICE LLC 880.77%1.17%1.42%Q4 2021Q3 20238
Moloney Securities Asset Management, LLC 710.01%0.02%0.02%Q2 2021Q3 20238
Constitution Capital LLC 880.09%0.13%0.21%Q4 2020Q3 20228
Realta Investment Advisors 440.00%0.01%0.03%Q1 2019Q3 20238
Johnson Midwest Financial, LLC 880.00%0.00%0.01%Q4 2021Q3 20238
Altus Wealth Group LLC 880.07%0.09%0.10%Q4 2020Q3 20228
Kerntke Otto McGlone Wealth Management Group 710.06%0.12%0.16%Q4 2019Q4 20218
Ameritas Advisory Services, LLC 880.01%0.02%0.03%Q4 2021Q3 20238
AQR Capital Management 710.01%0.01%0.02%Q4 2012Q4 20148
Jacobi Capital Management LLC 530.00%0.00%0.00%Q2 2017Q3 20218
Mutual Advisors, LLC 710.01%0.02%0.04%Q4 2017Q1 20208
HAZLETT, BURT & WATSON, INC. 770.01%0.01%0.01%Q1 2022Q3 20237
GHP Investment Advisors, Inc. 770.00%0.00%0.00%Q1 2022Q3 20237
Vident Investment Advisory, LLC 430.20%0.48%0.99%Q1 2017Q3 20197
TCF National Bank 770.02%0.02%0.03%Q3 2019Q1 20217
EATON VANCE MANAGEMENT 770.00%0.00%0.00%Q1 2021Q3 20227
Newman & Schimel, LLC 770.04%0.10%0.13%Q1 2021Q3 20227
Alpha Cubed Investments, LLC 770.01%0.01%0.01%Q1 2022Q3 20237
Clarus Wealth Advisors 770.07%0.16%0.24%Q4 2017Q2 20197
Silver Lake Advisory, LLC 770.27%0.29%0.31%Q4 2013Q2 20157
Integrated Wealth Management 770.00%0.00%0.00%Q1 2015Q3 20167
USCA RIA LLC 770.01%0.01%0.02%Q1 2018Q3 20197
Walleye Trading LLC 430.00%0.00%0.00%Q4 2016Q3 20187
North Star Investment Management Corp. 610.00%0.00%0.00%Q4 2016Q3 20217
First Horizon Advisors, Inc. 520.00%0.00%0.00%Q2 2020Q3 20227
Atria Wealth Solutions, Inc. 770.01%0.02%0.02%Q1 2022Q3 20237
Concord Wealth Partners 430.00%0.00%0.00%Q4 2021Q3 20237
FCA CORP /TX 770.08%0.24%0.36%Q1 2022Q3 20237
Ellis Investment Partners, LLC 770.00%0.00%0.01%Q2 2019Q4 20207
Cerity Partners LLC 770.01%0.02%0.03%Q4 2021Q2 20237
MARINER INDEPENDENT ADVISOR NETWORK, LLC 610.01%0.02%0.06%Q1 2017Q1 20227
HL FINANCIAL SERVICES LLC 610.00%0.00%0.00%Q4 2013Q1 20177
Taylor Hoffman Wealth Management 610.02%0.02%0.02%Q3 2018Q2 20207
Virtu KCG Holdings LLC 210.00%0.01%0.02%Q4 2013Q2 20177
FIDUCIARY TRUST CO 770.01%0.01%0.01%Q4 2013Q2 20157
Astoria Portfolio Advisors LLC. 770.03%0.11%0.24%Q4 2021Q2 20237
Beacon Capital Management, LLC 770.00%0.00%0.00%Q1 2022Q3 20237
Gary Goldberg Planning Services Inc 770.18%0.27%0.43%Q2 2013Q4 20147
Beacon Pointe Advisors, LLC 770.00%0.00%0.01%Q1 2022Q3 20237
Kolinsky Wealth Management, LLC 430.06%0.09%0.11%Q4 2021Q3 20237
PARK AVENUE SECURITIES LLC 510.00%0.01%0.03%Q2 2020Q3 20237
NEW ENGLAND SECURITIES CORP /MA/ 770.00%0.01%0.02%Q2 2013Q4 20147
HRT FINANCIAL LP 210.00%0.02%0.06%Q2 2018Q2 20237
Investors Capital Advisory Services 310.02%0.03%0.06%Q2 2013Q2 20166
SEIZERT CAPITAL PARTNERS, LLC 660.00%0.00%0.01%Q3 2015Q4 20166
Apriem Advisors 660.02%0.02%0.02%Q2 2014Q3 20156
Destination Wealth Management 660.00%0.03%0.15%Q1 2018Q2 20196
Tradition Wealth Management, LLC 660.01%0.02%0.02%Q2 2022Q3 20236
RMB Capital Management, LLC 310.00%0.04%0.13%Q1 2015Q2 20196
UBS AG 660.01%0.01%0.01%Q2 2013Q3 20146
LIBERTY WEALTH MANAGEMENT LLC 660.01%0.01%0.01%Q2 2019Q3 20206
Somerset Trust Co 660.01%0.01%0.01%Q4 2013Q1 20156
Regal Investment Advisors LLC 660.00%0.00%0.01%Q2 2013Q3 20146
RE Dickinson Investment Advisors, LLC 410.01%0.02%0.04%Q4 2021Q3 20236
Private Capital Group, LLC 660.00%0.00%0.00%Q1 2018Q2 20196
Titus Wealth Management 660.07%0.08%0.09%Q2 2018Q3 20196
WOLFF WIESE MAGANA LLC 660.00%0.00%0.01%Q4 2020Q1 20226
SeaBridge Investment Advisors LLC 660.04%0.20%0.34%Q1 2015Q2 20166
WESBANCO BANK INC 330.00%0.01%0.02%Q2 2019Q3 20236
SUSQUEHANNA INTERNATIONAL GROUP, LLP 210.00%0.00%0.00%Q2 2018Q3 20236
Blue Trust, Inc. 660.00%0.00%0.00%Q2 2022Q3 20236
Atlas Private Wealth Advisors 660.00%0.00%0.01%Q2 2020Q3 20216
Ironwood Financial, llc 660.00%0.00%0.00%Q3 2018Q4 20196
PARK NATIONAL CORP /OH/ 660.01%0.01%0.02%Q2 2013Q3 20146
Simplicity Solutions, LLC 410.01%0.01%0.02%Q4 2017Q2 20206
Belpointe Asset Management LLC 420.00%0.02%0.05%Q3 2017Q3 20236
ENTERPRISE FINANCIAL SERVICES CORP 660.01%0.01%0.01%Q2 2019Q3 20206
COMPASS FINANCIAL ADVISORS LLC 661.02%1.21%1.38%Q4 2021Q1 20236
Future Financial Wealth Managment LLC 550.07%0.12%0.16%Q4 2021Q4 20225
Crosspoint Capital Strategies, LLC 550.00%0.00%0.00%Q4 2013Q4 20145
HYA Advisors, Inc 550.06%0.08%0.09%Q2 2021Q2 20225
Fusion Family Wealth LLC 320.02%0.03%0.04%Q1 2017Q2 20185
Covington Capital Management 550.00%0.00%0.00%Q3 2017Q3 20185
EverSource Wealth Advisors, LLC 550.00%0.01%0.01%Q3 2022Q3 20235
Wealthspire Advisors, L.P. 550.00%0.00%0.01%Q4 2015Q4 20165
FourThought Financial, LLC 550.00%0.00%0.00%Q4 2020Q4 20215
STONEBRIDGE CAPITAL MANAGEMENT INC 550.03%0.04%0.04%Q2 2013Q2 20145
TFS CAPITAL LLC 310.01%0.03%0.04%Q2 2013Q1 20155
Ironwood Investment Counsel, LLC 550.02%0.02%0.02%Q1 2022Q1 20235
OTA Financial Group L.P. 210.21%0.48%0.66%Q4 2013Q3 20185
Thomas J. Herzfeld Advisors, Inc. 320.00%1.19%2.98%Q1 2020Q3 20235
1919 Investment Counsel, LLC 550.00%0.00%0.00%Q2 2013Q2 20145
CREATIVE FINANCIAL DESIGNS INC /ADV 550.00%0.00%0.00%Q4 2017Q4 20185
BUCKINGHAM STRATEGIC PARTNERS, LLC 550.01%0.03%0.09%Q4 2021Q4 20225
WealthBridge Capital Management, LLC 550.07%0.08%0.09%Q4 2018Q4 20195
High Net Worth Advisory Group LLC 550.02%0.03%0.04%Q4 2021Q4 20225
MGO ONE SEVEN LLC 210.01%0.01%0.02%Q4 2017Q3 20235
Valeo Financial Advisors, LLC 550.00%0.00%0.00%Q1 2020Q1 20215
Drexel Morgan & Co. 550.11%0.11%0.12%Q4 2015Q4 20165
People's United Financial, Inc. 550.00%0.00%0.00%Q2 2016Q2 20175
Proficio Capital Partners LLC 550.11%0.27%0.38%Q2 2016Q2 20175
CoreCap Advisors, LLC 550.16%0.18%0.22%Q4 2021Q4 20225
Rockbridge Investment Management, LCC 550.00%0.00%0.00%Q4 2020Q4 20215
JFS WEALTH ADVISORS, LLC 550.00%0.00%0.01%Q4 2016Q4 20175
Logan Stone Capital, LLC 410.19%0.92%1.77%Q1 2022Q3 20235
BOYS ARNOLD & CO INC 550.02%0.02%0.03%Q2 2016Q2 20175
Fiera Capital Corp 320.00%0.00%0.01%Q3 2016Q3 20185
Zullo Investment Group, Inc. 550.00%0.00%0.00%Q4 2021Q4 20225
GPS Wealth Strategies Group, LLC 320.00%0.00%0.00%Q2 2022Q3 20235
Lenox Wealth Advisors, LLC 440.00%0.00%0.00%Q2 2021Q1 20224
Hurley Capital, LLC 440.64%0.73%0.81%Q4 2014Q3 20154
TOMPKINS FINANCIAL CORP 440.00%0.00%0.00%Q1 2022Q4 20224
TWO SIGMA SECURITIES, LLC 440.00%0.00%0.00%Q1 2018Q4 20184
Strategic Asset Management, LLC 440.01%0.01%0.01%Q3 2021Q2 20224
Ironsides Asset Advisors, LLC 210.06%0.08%0.10%Q1 2017Q3 20184
Cedar Brook Financial Partners, LLC 440.08%0.09%0.10%Q4 2018Q3 20194
V Wealth Advisors LLC 210.02%0.04%0.05%Q2 2017Q3 20184
Commonwealth Financial Services, LLC 440.01%0.01%0.01%Q2 2016Q1 20174
MONROE BANK & TRUST/MI 440.01%0.02%0.05%Q2 2013Q1 20144
Beacon Financial Advisory LLC 440.04%0.04%0.05%Q4 2022Q3 20234
Stolper Co 440.18%0.19%0.21%Q4 2022Q3 20234
Global Financial Private Capital, Inc 440.00%0.00%0.01%Q2 2018Q1 20194
NOMURA HOLDINGS INC 110.00%0.00%0.00%Q4 2013Q1 20234
Sunnymeath Asset Management, Inc. 310.00%0.00%0.00%Q4 2015Q4 20164
KEYBANK NATIONAL ASSOCIATION/OH 440.00%0.00%0.00%Q2 2019Q1 20204
WATERSHED PRIVATE WEALTH LLC 440.08%0.08%0.09%Q4 2022Q3 20234
FSA Wealth Management LLC 310.00%0.01%0.01%Q4 2019Q4 20204
Golden State Wealth Management, LLC 310.01%0.03%0.04%Q1 2019Q1 20204
PETRA FINANCIAL ADVISORS INC 441.08%1.29%1.58%Q4 2022Q3 20234
LINCOLN NATIONAL CORP 210.00%0.00%0.00%Q4 2017Q2 20204
Yellowstone Partners, LLC 220.05%0.07%0.09%Q2 2016Q4 20174
NATIONS FINANCIAL GROUP INC, /IA/ /ADV 440.01%0.01%0.01%Q4 2022Q3 20234
Portfolio Strategies, Inc. 440.00%0.00%0.01%Q4 2017Q3 20184
Joel Isaacson & Co., LLC 440.02%0.02%0.03%Q4 2012Q3 20134
Virtu Financial LLC 310.01%0.01%0.02%Q4 2018Q2 20234
Signature Wealth Management Group 440.01%0.01%0.01%Q4 2017Q3 20184
Newbridge Financial Services Group, Inc. 440.34%0.37%0.40%Q3 2020Q2 20214
Wela Strategies, Inc. 310.45%0.50%0.54%Q3 2022Q3 20234
Running Point Capital Advisors, LLC 440.04%0.05%0.05%Q1 2022Q4 20224
GM Advisory Group, LLC 440.30%0.40%0.49%Q4 2013Q3 20144
NINE MASTS CAPITAL Ltd 210.02%0.30%0.85%Q1 2017Q3 20184
Addison Advisors LLC 310.01%0.04%0.05%Q4 2020Q4 20214
Windsor Capital Management, LLC 310.01%0.01%0.01%Q2 2013Q3 20154
PRELUDE CAPITAL MANAGEMENT, LLC 440.02%0.04%0.05%Q1 2019Q4 20194
Integrated Wealth Concepts LLC 440.00%0.00%0.00%Q3 2021Q2 20224
OLIVER LAGORE VANVALIN INVESTMENT GROUP 440.01%0.01%0.01%Q4 2022Q3 20234
Next Capital Management LLC 440.01%0.01%0.01%Q4 2018Q3 20194
First National Bank of South Miami 440.01%0.01%0.01%Q4 2018Q3 20194
Arkadios Wealth Advisors 440.00%0.06%0.09%Q4 2020Q3 20214
Vantage Investment Partners, LLC 440.01%0.01%0.01%Q3 2018Q2 20194
CALDWELL SUTTER CAPITAL, INC. 440.11%0.15%0.20%Q4 2022Q3 20234
Perigon Wealth Management, LLC 440.00%0.01%0.01%Q4 2022Q3 20234
MELFA WEALTH MANAGEMENT, INC. 440.27%0.29%0.31%Q4 2022Q3 20234
Enterprise Trust & Investment Co 440.00%0.00%0.00%Q3 2021Q2 20224
RESOURCES MANAGEMENT CORP /CT/ /ADV 210.00%0.00%0.00%Q2 2020Q1 20224
Palogic Value Management, L.P. 440.32%0.35%0.39%Q4 2022Q3 20234
Financial Enhancement Group LLC 440.08%0.08%0.09%Q4 2022Q3 20234
Cornerstone Financial Partners, LLC 440.62%1.47%2.00%Q4 2015Q3 20164
Pine River Capital Management L.P. 440.01%0.01%0.01%Q4 2013Q3 20144
Weiss Asset Management LP 110.04%0.06%0.08%Q4 2016Q4 20223
TCI Wealth Advisors, Inc. 110.00%0.01%0.02%Q4 2016Q3 20233
KAVAR CAPITAL PARTNERS GROUP, LLC 110.01%0.02%0.02%Q2 2022Q3 20233
Signator Financial Services, Inc. 330.01%0.01%0.01%Q1 2013Q3 20133
JANUS HENDERSON INVESTORS US LLC 330.00%0.00%0.00%Q2 2016Q4 20163
WEBSTER BANK, N. A. 210.00%0.00%0.01%Q4 2016Q4 20173
ROBINSON CAPITAL MANAGEMENT, LLC 210.21%0.50%1.00%Q4 2013Q3 20183
Compagnie Lombard Odier SCmA 330.00%0.00%0.00%Q1 2014Q3 20143
Wealth Quarterback LLC 210.01%0.02%0.03%Q4 2019Q3 20213
Lucia Wealth Services, LLC 330.02%0.02%0.02%Q1 2020Q3 20203
Pinnacle Wealth Planning Services, Inc. 210.01%0.01%0.01%Q4 2020Q3 20233
Plante Moran Financial Advisors, LLC 110.00%0.04%0.10%Q2 2014Q4 20203
Householder Group Estate & Retirement Specialist, LLC 110.01%0.02%0.02%Q3 2022Q3 20233
Alpine Global Management, LLC 110.10%0.11%0.12%Q4 2016Q3 20193
Larson Financial Group LLC 330.00%0.00%0.00%Q4 2021Q2 20223
Woodline Partners LP 330.00%0.01%0.01%Q4 2022Q2 20233
Strategic Financial Concepts, LLC 330.03%0.05%0.06%Q1 2023Q3 20233
Fisher Asset Management, LLC 210.00%0.00%0.00%Q2 2018Q3 20233
MARK SHEPTOFF FINANCIAL PLANNING, LLC 330.00%0.00%0.00%Q4 2021Q2 20223
ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA 330.12%0.14%0.16%Q1 2018Q3 20183
Samalin Investment Counsel, LLC 330.08%0.15%0.24%Q1 2023Q3 20233
Ballew Advisors, Inc 330.01%0.01%0.02%Q1 2018Q3 20183
FineMark National Bank & Trust 210.00%0.00%0.01%Q2 2013Q3 20163
DAYMARK WEALTH PARTNERS, LLC 330.02%0.02%0.03%Q1 2023Q3 20233
Coppell Advisory Solutions LLC 210.00%0.00%0.00%Q4 2022Q3 20233
NEWGATE CAPITAL MANAGEMENT LLC 330.55%0.95%1.21%Q2 2013Q4 20133
Harvest Investment Services, LLC 330.09%0.10%0.10%Q2 2019Q4 20193
TCG Advisors, LP 330.10%0.13%0.14%Q4 2018Q2 20193
Lloyd Park, LLC 210.13%0.26%0.50%Q4 2021Q3 20223
Corient Private Wealth LLC 330.00%0.00%0.00%Q1 2023Q3 20233
Capital Wealth Planning, LLC 210.01%0.01%0.01%Q2 2019Q1 20203
LAZARD ASSET MANAGEMENT LLC 210.00%0.00%0.00%Q3 2021Q3 20233
Sea Otter Advisors LLC 330.31%0.56%0.83%Q1 2023Q3 20233
ICA Group Wealth Management, LLC 330.00%0.00%0.00%Q4 2022Q2 20233
Financial Gravity Asset Management, Inc. 330.00%0.00%0.01%Q1 2023Q3 20233
Procyon Advisors, LLC 330.00%0.00%0.00%Q4 2019Q2 20203
Global Retirement Partners, LLC 330.00%0.00%0.00%Q1 2023Q3 20233
Altavista Wealth Management, Inc. 330.22%0.31%0.44%Q2 2013Q4 20133
WealthPLAN Partners, LLC 330.02%0.04%0.05%Q1 2018Q3 20183
FIRST HAWAIIAN BANK 330.00%0.00%0.00%Q3 2018Q1 20193
Vanguard Capital Wealth Advisors 210.12%0.14%0.15%Q4 2017Q3 20183
Carlton Hofferkamp & Jenks Wealth Management, LLC 330.04%0.04%0.05%Q4 2022Q2 20233
Koshinski Asset Management, Inc. 330.00%0.00%0.00%Q3 2021Q1 20223
Glass Jacobson Investment Advisors llc 210.04%0.04%0.05%Q4 2022Q3 20233
VERUS CAPITAL PARTNERS, LLC 220.00%0.00%0.00%Q4 2019Q1 20202
GEODE CAPITAL MANAGEMENT, LLC 110.00%0.00%0.00%Q2 2013Q4 20132
MANAGED ACCOUNT ADVISORS LLC 110.00%0.00%0.00%Q3 2014Q1 20152
Innovative Portfolios 220.32%0.33%0.35%Q1 2021Q2 20212
Laurion Capital Management LP 110.01%0.01%0.01%Q4 2015Q4 20172
VALLEY NATIONAL ADVISERS INC 220.00%0.00%0.00%Q2 2019Q3 20192
Stonegate Investment Group, LLC 220.00%0.00%0.00%Q4 2021Q1 20222
Argentus Capital Management, LLC 220.02%0.02%0.02%Q2 2013Q3 20132
MANCHESTER FINANCIAL INC 220.03%0.03%0.04%Q4 2020Q1 20212
Total Clarity Wealth Management, Inc. 220.02%0.02%0.02%Q3 2021Q4 20212
COUNTRY TRUST BANK 110.00%0.00%0.00%Q2 2016Q4 20182
Spotlight Asset Group, Inc. 220.10%0.10%0.10%Q1 2021Q2 20212
MONEY CONCEPTS CAPITAL CORP 110.00%0.01%0.01%Q1 2022Q4 20222
Wealth Advisory Solutions, LLC 220.02%0.02%0.02%Q2 2022Q3 20222
Weaver Consulting Group 220.01%0.01%0.01%Q2 2020Q3 20202
CreativeOne Wealth, LLC 220.01%0.01%0.01%Q2 2021Q3 20212
Alterity Financial Group, LLC 110.10%0.11%0.11%Q1 2021Q2 20222
Quantedge Capital Pte Ltd 220.05%0.09%0.14%Q3 2022Q4 20222
Buck Wealth Strategies, LLC 220.00%0.00%0.00%Q2 2023Q3 20232
WealthShield Partners, LLC 220.01%0.01%0.01%Q1 2021Q2 20212
HARBOR INVESTMENT ADVISORY, LLC 220.00%0.00%0.00%Q4 2019Q1 20202
Davis Capital Management 220.06%0.06%0.06%Q1 2020Q2 20202
Montecito Bank & Trust 110.01%0.06%0.12%Q2 2013Q4 20162
Ipswich Investment Management Co., Inc. 110.00%0.00%0.00%Q1 2016Q4 20182
GREAT VALLEY ADVISOR GROUP, INC. 220.00%0.00%0.00%Q3 2022Q4 20222
1 NORTH WEALTH SERVICES LLC 220.00%0.00%0.00%Q3 2019Q4 20192
SHEPHERD KAPLAN KROCHUK, LLC 220.09%0.10%0.11%Q3 2018Q4 20182
M&R CAPITAL MANAGEMENT INC 220.00%0.00%0.00%Q1 2023Q2 20232
PINNACLE ASSOCIATES LTD 110.00%0.00%0.00%Q3 2018Q1 20222
MBL Wealth, LLC 220.03%0.04%0.04%Q4 2020Q1 20212
Fortitude Advisory Group L.L.C. 220.03%0.03%0.04%Q4 2021Q1 20222
Orion Portfolio Solutions, LLC 220.00%0.00%0.00%Q1 2020Q2 20202
Arlington Capital Management, Inc. 220.09%0.10%0.11%Q2 2023Q3 20232
Aspire Private Capital, LLC 220.00%0.00%0.00%Q1 2019Q2 20192
BNC WEALTH MANAGEMENT, LLC 110.04%0.04%0.05%Q3 2020Q4 20212
WealthTrust-Arizona, LLC 220.00%0.00%0.00%Q2 2013Q3 20132
Concert Wealth Management Inc. 220.02%0.03%0.03%Q2 2016Q3 20162
Capital Investment Advisory Services, LLC 220.01%0.01%0.01%Q4 2018Q1 20192
Biltmore Capital Advisors LLC 220.05%0.05%0.05%Q1 2019Q2 20192
ALLIANCEBERNSTEIN L.P. 110.00%0.00%0.00%Q1 2014Q1 20152
Vectors Research Management, LLC 220.00%0.00%0.00%Q4 2019Q1 20202
Carmichael Hill & Associates, Inc. 220.01%0.01%0.01%Q4 2019Q1 20202
TRUE Private Wealth Advisors 110.01%0.01%0.01%Q2 2019Q4 20192
Walker Asset Management, LLC 220.23%0.26%0.29%Q4 2021Q1 20222
VisionPoint Advisory Group, LLC 220.00%0.00%0.00%Q2 2023Q3 20232
BUCKINGHAM STRATEGIC WEALTH, LLC 220.01%0.01%0.02%Q3 2019Q4 20192
Archer Investment Corp 220.00%0.00%0.01%Q4 2020Q1 20212
IEQ CAPITAL, LLC 220.00%0.00%0.00%Q2 2023Q3 20232
BENJAMIN EDWARDS INC 220.01%0.01%0.01%Q4 2021Q1 20222
BDO Wealth Advisors, LLC 110.00%0.01%0.01%Q2 2017Q1 20232
SageView Advisory Group, LLC 220.01%0.01%0.01%Q2 2023Q3 20232
Herold Advisors, Inc. 110.00%0.00%0.00%Q3 2021Q1 20222
HOWARD WEALTH MANAGEMENT, LLC 220.08%0.10%0.11%Q4 2019Q1 20202
Donald L. Hagan, LLC 110.00%0.00%0.00%Q3 2015Q1 20162
Archford Capital Strategies, LLC 220.00%0.01%0.02%Q4 2015Q1 20162
Argent Advisors, Inc. 110.00%0.00%0.00%Q4 2019Q4 20191
WIPFLI FINANCIAL ADVISORS LLC, 110.00%0.00%0.00%Q3 2022Q3 20221
Allen Investment Management, LLC 110.02%0.02%0.02%Q3 2014Q3 20141
PRING TURNER CAPITAL GROUP INC 110.01%0.01%0.01%Q4 2013Q4 20131
Cresset Asset Management, LLC 110.00%0.00%0.00%Q2 2023Q2 20231
Johnson Financial Group, Inc. 110.00%0.00%0.00%Q2 2016Q2 20161
First Command Advisory Services, Inc. 110.00%0.00%0.00%Q2 2022Q2 20221
One Wealth Advisors, LLC 110.00%0.00%0.00%Q4 2022Q4 20221
Sequoia Financial Advisors, LLC 110.01%0.01%0.01%Q1 2019Q1 20191
CENTRAL BANK & TRUST CO 110.00%0.00%0.00%Q3 2020Q3 20201
OLD MISSION CAPITAL LLC 110.33%0.33%0.33%Q4 2018Q4 20181
Parisi Gray Wealth Management 110.00%0.00%0.00%Q4 2017Q4 20171
Merit Financial Group, LLC 110.01%0.01%0.01%Q4 2021Q4 20211
TRUST & FIDUCIARY MANAGEMENT SERVICES INC 114.15%4.15%4.15%Q4 2015Q4 20151
CABOT WEALTH MANAGEMENT INC 110.18%0.18%0.18%Q2 2013Q2 20131
Allegis Investment Advisors, LLC 110.02%0.02%0.02%Q4 2015Q4 20151
BOOTHBAY FUND MANAGEMENT, LLC 110.08%0.08%0.08%Q1 2015Q1 20151
Hightower 6M Holding, LLC 110.13%0.13%0.13%Q3 2022Q3 20221
Paloma Partners Management Co 110.01%0.01%0.01%Q2 2013Q2 20131
Claro Advisors LLC 110.05%0.05%0.05%Q4 2022Q4 20221
WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 110.01%0.01%0.01%Q3 2018Q3 20181
Trutina Financial LLC 110.00%0.00%0.00%Q1 2014Q1 20141
MPS Loria Financial Planners, LLC 110.01%0.01%0.01%Q2 2017Q2 20171
CLEAR STREET MARKETS LLC 110.04%0.04%0.04%Q3 2015Q3 20151
Autumn Glory Partners, LLC 110.13%0.13%0.13%Q4 2021Q4 20211
Rather & Kittrell, Inc. 110.01%0.01%0.01%Q4 2021Q4 20211
PITTENGER & ANDERSON INC 110.00%0.00%0.00%Q1 2016Q1 20161
Vigilant Capital Management, LLC 110.01%0.01%0.01%Q4 2019Q4 20191
Kovitz Investment Group Partners, LLC 110.00%0.00%0.00%Q3 2019Q3 20191
Cubist Systematic Strategies, LLC 110.00%0.00%0.00%Q3 2022Q3 20221
TRILLIUM ASSET MANAGEMENT, LLC 110.01%0.01%0.01%Q3 2018Q3 20181
Diversified, LLC 110.00%0.00%0.00%Q4 2020Q4 20201
Versant Capital Management, Inc 110.00%0.00%0.00%Q2 2022Q2 20221
SVB WEALTH LLC 110.00%0.00%0.00%Q3 2022Q3 20221
SIGNET MANAGEMENT USA, LLC 110.14%0.14%0.14%Q4 2013Q4 20131
CASTLE WEALTH MANAGEMENT LLC 110.02%0.02%0.02%Q3 2022Q3 20221
AXS Investments LLC 110.05%0.05%0.05%Q2 2023Q2 20231
Coppell Advisory Solutions Corp. 110.00%0.00%0.00%Q4 2022Q4 20221
ASSETMARK, INC 110.00%0.00%0.00%Q2 2016Q2 20161
AT Bancorp 110.01%0.01%0.01%Q2 2017Q2 20171
NBC SECURITIES, INC. 110.00%0.00%0.00%Q3 2023Q3 20231
Financial Advantage, Inc. 110.00%0.00%0.00%Q4 2013Q4 20131
Widmann Financial Services, Inc. 110.00%0.00%0.00%Q4 2021Q4 20211
Allred Capital Management, LLC 110.01%0.01%0.01%Q4 2019Q4 20191
CORNERSTONE ADVISORS INC 110.07%0.07%0.07%Q4 2013Q4 20131
Segantii Capital Management Ltd 110.00%0.00%0.00%Q4 2021Q4 20211
ROMANO BROTHERS AND COMPANY 110.00%0.00%0.00%Q4 2022Q4 20221
Spectrum Management Group, LLC 110.11%0.11%0.11%Q3 2017Q3 20171
Comprehensive Financial Consultants Institutional, Inc. 110.02%0.02%0.02%Q4 2021Q4 20211
Chessman Wealth Strategies RIA 110.05%0.05%0.05%Q3 2018Q3 20181
Perella Weinberg Partners Capital Management LP 110.01%0.01%0.01%Q2 2013Q2 20131
Independence Bank of Kentucky 110.00%0.00%0.00%Q1 2018Q1 20181
Fortis Group Advisors, LLC 110.17%0.17%0.17%Q3 2020Q3 20201
FIRST NATIONAL CORP /MA/ /ADV 110.01%0.01%0.01%Q4 2018Q4 20181
Strategic Investment Solutions, Inc. /IL 110.00%0.00%0.00%Q3 2023Q3 20231
Independent Portfolio Consultants, Inc. 110.00%0.00%0.00%Q4 2016Q4 20161
Elgethun Capital Management 110.02%0.02%0.02%Q4 2016Q4 20161
EWG Elevate Inc. 110.00%0.00%0.00%Q4 2022Q4 20221
Columbia Asset Management 110.04%0.04%0.04%Q2 2014Q2 20141
Squarepoint Ops LLC 110.04%0.04%0.04%Q4 2016Q4 20161
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 110.00%0.00%0.00%Q3 2023Q3 20231
SG Americas Securities, LLC 110.01%0.01%0.01%Q4 2013Q4 20131
GIRARD PARTNERS LTD. 110.00%0.00%0.00%Q3 2018Q3 20181
HERITAGE WEALTH MANAGEMENT, LLC 110.01%0.01%0.01%Q1 2021Q1 20211
Livingston Group Asset Management CO (operating as Southport Capital Management) 110.28%0.28%0.28%Q2 2016Q2 20161
Clean Yield Group 110.01%0.01%0.01%Q1 2015Q1 20151
RVW Wealth, LLC 110.03%0.03%0.03%Q1 2023Q1 20231
Venture Visionary Partners LLC 110.00%0.00%0.00%Q2 2022Q2 20221
COWEN INC. 110.01%0.01%0.01%Q3 2015Q3 20151
Reby Advisors, LLC 110.01%0.01%0.01%Q4 2020Q4 20201
BerganKDV Wealth Management, LLC 110.00%0.00%0.00%Q3 2021Q3 20211
TCWP LLC 110.00%0.00%0.00%Q1 2022Q1 20221
XTX Topco Ltd 110.02%0.02%0.02%Q2 2023Q2 20231
CALTON & ASSOCIATES, INC. 110.01%0.01%0.01%Q4 2017Q4 20171
Avestar Capital, LLC 110.04%0.04%0.04%Q4 2017Q4 20171
LEAVELL INVESTMENT MANAGEMENT, INC. 110.00%0.00%0.00%Q2 2010Q2 20101
Questar Asset Management, Inc. 110.13%0.13%0.13%Q4 2018Q4 20181
BLACKROCK ADVISORS LLC 110.00%0.00%0.00%Q4 2014Q4 20141
PFG Advisors 110.03%0.03%0.03%Q4 2018Q4 20181
CLOUGH CAPITAL PARTNERS L P 110.02%0.02%0.02%Q4 2018Q4 20181
TIAA TRUST, NATIONAL ASSOCIATION 110.00%0.00%0.00%Q3 2023Q3 20231
IMA Wealth, Inc. 110.00%0.00%0.00%Q3 2018Q3 20181
McGowan Group Asset Management, Inc. 111.00%1.00%1.00%Q2 2016Q2 20161
Parkside Financial Bank & Trust 110.00%0.00%0.00%Q4 2022Q4 20221
ADVISOR PARTNERS II, LLC 110.04%0.04%0.04%Q3 2023Q3 20231
Taylor Wealth Management Partners 110.00%0.00%0.00%Q1 2015Q1 20151
Meristem Family Wealth, LLC 110.01%0.01%0.01%Q3 2021Q3 20211
Transamerica Financial Advisors, Inc. 110.01%0.01%0.01%Q1 2016Q1 20161
PSI Advisors, LLC 110.00%0.00%0.00%Q4 2019Q4 20191
Independent Advisor Alliance 110.01%0.01%0.01%Q4 2019Q4 20191
MBE Wealth Management, LLC 110.01%0.01%0.01%Q1 2020Q1 20201
Baker Avenue Asset Management, LP 110.05%0.05%0.05%Q4 2019Q4 20191
Horan Securities, Inc. 110.01%0.01%0.01%Q2 2019Q2 20191
XML Financial, LLC 110.16%0.16%0.16%Q1 2020Q1 20201
Confluence Wealth Services, Inc. 110.02%0.02%0.02%Q4 2021Q4 20211
Klingman & Associates, LLC 110.02%0.02%0.02%Q2 2016Q2 20161
Leelyn Smith, LLC 110.00%0.00%0.00%Q4 2022Q4 20221
NorthRock Partners, LLC 110.02%0.02%0.02%Q4 2019Q4 20191
ALBION FINANCIAL GROUP /UT 110.00%0.00%0.00%Q4 2022Q4 20221
Algebris (UK) Ltd 113.95%3.95%3.95%Q3 2023Q3 20231
BlackRock Inc. 110.00%0.00%0.00%Q4 2018Q4 20181
Consolidated Planning Corp 110.00%0.00%0.00%Q3 2021Q3 20211
TOWNSQUARE CAPITAL LLC 110.01%0.01%0.01%Q3 2023Q3 20231
NewSquare Capital LLC 110.00%0.00%0.00%Q3 2019Q3 20191
K.J. Harrison & Partners Inc 110.03%0.03%0.03%Q4 2013Q4 20131
DHJJ Financial Advisors, Ltd. 110.00%0.00%0.00%Q3 2023Q3 20231
INTEGRATED CAPITAL MANAGEMENT, INC. 110.21%0.21%0.21%Q3 2023Q3 20231
Founders Financial Alliance, LLC 110.02%0.02%0.02%Q3 2020Q3 20201
Genovese Burford & Brothers Wealth & Retirement Plan Management, LLC 110.00%0.00%0.00%Q4 2016Q4 20161
NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC 110.00%0.00%0.00%Q2 2014Q2 20141
Glassman Wealth Services 110.02%0.02%0.02%Q4 2016Q4 20161
COWA, LLC 110.04%0.04%0.04%Q1 2022Q1 20221
REGIONS FINANCIAL CORP 110.00%0.00%0.00%Q1 2019Q1 20191
NORRIS PERNE & FRENCH LLP/MI 110.02%0.02%0.02%Q2 2013Q2 20131
Ground Swell Capital, LLC 110.00%0.00%0.00%Q3 2014Q3 20141
BlueCrest Capital Management LLP 110.01%0.01%0.01%Q2 2014Q2 20141
NEXT Financial Holdings 110.00%0.00%0.00%Q1 2019Q1 20191
Elequin Capital, LP 110.09%0.09%0.09%Q4 2022Q4 20221
ATTICUS WEALTH MANAGEMENT, LLC 110.05%0.05%0.05%Q4 2019Q4 20191
Whitnell & Co. 110.00%0.00%0.00%Q2 2013Q2 20131
KNIGHT CAPITAL GROUP LLC 110.00%0.00%0.00%Q2 2013Q2 20131
Legal Advantage Investments, Inc. 110.03%0.03%0.03%Q4 2020Q4 20201
Castle Financial & Retirement Planning Associates, Inc. 110.07%0.07%0.07%Q4 2021Q4 20211
D'Orazio & Associates, Inc. 110.00%0.00%0.00%Q3 2021Q3 20211
BURKE & HERBERT BANK & TRUST CO 110.15%0.15%0.15%Q2 2013Q2 20131
MGO Private Wealth, LLC 110.13%0.13%0.13%Q1 2023Q1 20231
Ellevest, Inc. 110.00%0.00%0.00%Q2 2022Q2 20221
Walleye Capital LLC 110.00%0.00%0.00%Q3 2022Q3 20221
TRENT CAPITAL MANAGEMENT INC /NC/ 110.03%0.03%0.03%Q4 2016Q4 20161
J.W. COLE ADVISORS, INC. 110.02%0.02%0.02%Q3 2020Q3 20201
CAPITAL GUARDIAN TRUST CO 110.00%0.00%0.00%Q3 2017Q3 20171
Darwin Wealth Management, LLC 110.00%0.00%0.00%Q1 2020Q1 20201
DENVER WEALTH MANAGEMENT, INC. 110.11%0.11%0.11%Q4 2021Q4 20211
Global Wealth Management Investment Advisory, Inc. 110.00%0.00%0.00%Q4 2018Q4 20181
JNBA Financial Advisors 110.00%0.00%0.00%Q3 2016Q3 20161
STANSBERRY ASSET MANAGEMENT, LLC 110.05%0.05%0.05%Q1 2018Q1 20181
Aptus Capital Advisors, LLC 110.00%0.00%0.00%Q3 2023Q3 20231
External links

This page lists all the filers that currently own NUVEEN PFD & INCM SECURTIES or have owned NUVEEN PFD & INCM SECURTIES in the past.